The ABCs of Broker-dealer Regulation
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Published: 2008
Total Pages: 264
ISBN-13:
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Published: 2008
Total Pages: 264
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Published: 2006
Total Pages: 188
ISBN-13: 9781402407390
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Published: 2007
Total Pages: 186
ISBN-13: 9781402409004
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Published: 2008
Total Pages: 253
ISBN-13: 9781402410543
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Published: 2008
Total Pages: 266
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DOWNLOAD EBOOKAuthor: Poser, Fanto, Gross
Publisher: Wolters Kluwer Law & Business
Published:
Total Pages: 1920
ISBN-13: 1543804969
DOWNLOAD EBOOKAuthor: Norman S. Poser
Publisher: Aspen Publishers
Published: 1995
Total Pages: 100
ISBN-13:
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Published: 2010
Total Pages: 654
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DOWNLOAD EBOOKAuthor: David A. Lipton
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Published: 2008
Total Pages: 904
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DOWNLOAD EBOOKAuthor: Norman S. Poser
Publisher: Aspen Publishers
Published: 1997
Total Pages: 966
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DOWNLOAD EBOOKFrom duties under the common law to obligations imposed by the federal securities statutes, The new Second Edition of BROKER-DEALER LAW AND REGULATION covers the full range of the law that protects the relationship between broker-dealers and their customers. This recent update includes not only private rights of action, but also securities arbitration and mediation. Whether you represent a brokerage firm or securities dealer, An employee of the firm or a customer, you'll find insightful analysis of the law and practical, expert advice on such crucial issues as 'Churning' customers' accounts Unsuitable recommendations Unauthorized trading Market manipulation Vicarious liability Defenses that may be asserted against broker-dealers Compensatory and punitive damages Liability of controlling persons Rules of self-regulatory organizations Securities arbitration Mediation of securities disputes Conflicts of interest Appendices containing both the Federal Arbitration Act And The NASD Code of Arbitration Procedure BROKER-DEALER LAW AND REGULATION is also the only available source that fully discusses breach of fiduciary duty and other possible state law claims, which are now much more important under the narrowed scope of SEC Rule 10b-5.